What is a N 2 form?
SEC Form N-2 is a filing with the Securities and Exchange Commission (SEC) that must be submitted by closed-end management investment companies to register under the Investment Company Act of 1940 and to offer their shares under the Securities Act of 1933. 1
What is a 24F 2 filing?
SEC Form 24F-2 is a filing that must be submitted annually by open-end management companies in order to collect the requisite fees owed by them to the Securities and Exchange Commission (SEC). The form is also required for face-amount certificate companies and unit investment trusts (UITs).
What is a 425 filing?
Form 425 is a document prepared by companies and filed with the SEC disclosing information related to their business combinations, whether that is through a merger or an acquisition.
What is SEC Form s3?
SEC Form S-3 is a regulatory filing that provides simplified reporting for issuers of registered securities. An S-3 filing is utilized when a company wishes to raise capital, usually as a secondary offering after an initial public offering has already occurred.
What does upsizing an IPO mean?
Upsize option is an option in IPO to increase the size of offering when the demand is high.
What is a downsized IPO?
This practice note reviews the issues to be considered and the process involved when an issuer and its underwriters want to make changes to previously disclosed pricing information immediately before the pricing of an initial public offering (IPO), commonly referred to as upsizing or downsizing the offering.
What is the form 10?
SEC Form 10 is a filing with the Securities and Exchange Commission (SEC), also known as the General Form for Registration of Securities. It is used to register a class of securities for potential trading on U.S. exchanges. Any company under these thresholds may file a Form 10 voluntarily.
What is Form N CEN?
Form N-CEN is the reporting form that is to be used for annual reports filed pursuant to rule 30a-1 under the Act (17 CFR 270.30a-1) by registered investment companies, other than face- amount certificate companies, under section 30(a) of the Act and, in the case of small business investment companies and registered …
What is the SEC filing fee?
$92.70 per million dollars
On August 23, 2021, the Securities and Exchange Commission (SEC) announced that, effective October 1, 2021, the fees that public companies and other issuers pay to register their securities with the SEC will be decreased from the current rate of $109.10 per million dollars to the new fee rate of $92.70 per million …
Is there an update to the division’s WKSI policy?
Based on our experience with WKSI waivers to date, including the 18 months since the issuance of the original policy, the Division has decided to update and refine its policy. This statement outlines the framework the Division generally will follow in considering whether to grant a waiver of ineligible issuer status.
How do I request a waiver for WKSI?
Issuers seeking a waiver must submit a request letter that includes appropriate justification, based on the framework outlined above, for why a waiver should be granted and will bear the burden of establishing such justification. Inquiries about WKSI Waivers should be directed to the Division’s Office of Enforcement Liaison at 202-551-3420.
Can A WKSI make sales before its registration is effective?
As a result, a WKSI is not required to wait until the Division of Corporation Finance reviews and declares its registration statement effective before it is permitted to make sales. 3 In order to qualify as a WKSI, an issuer may not be an “ineligible issuer.”
What are the benefits of securities offering reform for wksis?
WKSIs benefit to the greatest degree from the communications and registration flexibilities provided in Securities Offering Reform. Most notably, WKSIs can register their securities offerings on shelf registration statements that become effective automatically upon filing.